ML
Mark T. Lamkin
CALTON & ASSOCIATES
Louisville, KY 40243
Some features on this profile are disabled
CRD#: 2121510
ML
Professional summary
Mark Thomas Lamkin, who also goes by Mark Lamkin, is a registered financial advisor currently at CALTON & ASSOCIATES, INC. located in Louisville, Kentucky.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Lamkin
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Lamkin Wealth Management, LLC. Non-Investment related. Address: 901 Lily Creek Road, Suite 102, Louisville, KY 40243. Nature of Business: DBA for RIA. Position/Title/Relationship: IAR of RIA of Calton. Hours per month: 160. Hours per month during Securities trading hours: 100%. Duties/Responsibilities: IRA of RIA of Calton. 2) Lamkin Lletdke Properties. Non-Investment related. Address: 901 Lily Creek Road Louisville, KY 40243. Nature of Business: Building Space. Position/Title/Relationship: Partner. Hours per month: 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Own the building and operate the business within the building. 3) Millionaires roadmap book. Non-Investment related. Address: 702 Rugby Place, Louisville, KY 40222. Nature of Business: Book. Position/Title/Relationship: Owner. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: No duties. Still have a few copies left. 4) Louisville Wealth Management, LLC. Investment related. Address: 901 Lily Creek Road, Suite 102, Louisville, KY 40243. Nature of Business: Fixed Insurance. Position/Title/Relationship: Owner. Start Date: 01/01/2010. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: I used to sell life insurance through this via my relationship with LPL. 5) Liberty banker's life. Investment related. Address: 901 Lily Creek, Louisville, KY 40222. Nature of Business: 3 year fixed annuity. Position/Title/Relationship: Agent. Start Date: 05/2019. Hours per month: 1. Hours per month during Securities trading hours: 1. Duties/Responsibilities: No duties, just another option for clients. 6) Champion's Real Estate Group, LLC. Non-Investment related. 1500 S Pope Lick, Louisville, KY 40299. Start Date:05/02/2023. Position/Title: Partner. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: No duties, rental property. 7) Lamkin Grandkids, LLC. Non-investment related. 1500 S Pope Lick, Louisville, KY 40299. Condo for personal use and rental income. Owner of LLC. Start date: 10/7/2024. Hours/month: 1. Hours/month during securities trading hours: 0. Hired rental company so LLC does not interfere with duties as an advisor. 8) Gradient Insurance Services. Investment related. 3740 SW Burlingame Cir, Topeka, KS 66609. Fixed insurance and FIAs. Position: Agent. Start date: 09/23/2024. Hours/month: 10. Hours/month during securities trading hours: 10. Gradient gives me their advice and research on FIAs and life insurance. 9) Mark T Lamkin Personal Condo; Non-Investment related; 1751 E Scenic Hwy 98, Unit 215, Destin, FL 32541; Decided to put condo up for rent to offset expenses. Owner/Sole Proprietor; Start Date: 3/1/2025; Hours/month: 0; Hours/month during securities trading hours: 0; Rental company will handle 100% of the renting, advertising and cleaning. 10) Mobile washing of cars; Non-investment related; 1502 Pope Lick Rd, Louisville, KY 40299; Mobile car wash service; Partner; Start Date: 6/30/2025; Hours/month: 0; Hours/month during securities trading hours: 0; Passive investor.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Thomas Lamkin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Thomas Lamkin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 7, 2018 - Present
CALTON & ASSOCIATES, INC.
Office #1: 901 Lily Creek Rd Suite 102, Louisville, KY 40243RIA
BD
CRD#: 20999
Louisville, KY
Current
December 10, 2018 - Present
CALTON & ASSOCIATES, INC.
Office #1: 901 Lily Creek Rd Suite 102, Louisville, KY 40243RIA
BD
CRD#: 20999
Louisville, KY
Past
September 13, 2018 - September 18, 2018
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
LOUISVILLE, KY
Past
August 9, 2001 - September 14, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
LOUISVILLE, KY
Past
February 9, 2001 - September 14, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
LOUISVILLE, KY
Past
June 9, 1994 - January 17, 2001
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
October 9, 1991 - May 4, 1994
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
February 8, 1991 - October 28, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 8, 1991 - October 28, 1991
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
C&
CALTON & ASSOCIATES, INC.
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.
CRD#: 20999 / SEC#: 801-70036, 8-38635
RIA
Registered Investment Advisory firm - SEC (4/7/2009 Approved)California
Registered Investment Advisory firm - SEC (4/13/2009 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/20/2009 Terminated)Delaware
Registered Investment Advisory firm - SEC (4/23/2009 Terminated)Florida
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kansas
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kentucky
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)Michigan
Registered Investment Advisory firm - SEC (5/7/2009 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Missouri
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Montana
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Nebraska
Registered Investment Advisory firm - SEC (4/17/2009 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/9/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(5/30/2025)
RR
Indiana(2/20/2019)
RR
Iowa(1/9/2024)
IAR
Kentucky(12/7/2018)
RR
Kentucky(12/13/2018)
RR
New York(12/20/2024)
RR
North Carolina(5/23/2025)
RR
Oklahoma(3/18/2019)
RR
Rhode Island(12/14/2018)
RR
South Carolina(10/10/2024)
RR
Texas(7/5/2023)
RR
Wisconsin(1/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
C&
CALTON & ASSOCIATES, INC.
CALTON | IEP FINANCIAL | CALTON & ASSOCIATES, INC.
CRD#: 20999 / SEC#: 801-70036, 8-38635
RIA
Registered Investment Advisory firm - SEC (4/7/2009 Approved)California
Registered Investment Advisory firm - SEC (4/13/2009 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/20/2009 Terminated)Delaware
Registered Investment Advisory firm - SEC (4/23/2009 Terminated)Florida
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kansas
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Kentucky
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)Michigan
Registered Investment Advisory firm - SEC (5/7/2009 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Missouri
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Montana
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Nebraska
Registered Investment Advisory firm - SEC (4/17/2009 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/14/2009 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/9/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (4/7/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/9/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Florida since 09/17/1987
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
515
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CICCATI, RANDALL LEE | SHAREHOLDER | 1569353 |
| CICCATI, RANDALL LEE | CEO / DIRECTOR | 1569353 |
| SINGH, RAMESHWAR | DIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES | 4660047 |
| SINGH, RAMESHWAR | SHAREHOLDER | 4660047 |
| CICCATI, JILL MARIE | SHAREHOLDER | |
| THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | SHAREHOLDER, LOUIS CICCATI AND ADELINE CARMELA CICCATI, TTEE | |
| CALTON, DEREK JAY | VICE PRESIDENT - DIRECTOR | 1192608 |
| CALTON, DWAYNE KENT | PRESIDENT - DIRECTOR | |
| CICCATI, ADELINE CARMELA | TRUSTEE OF THE LOUIS CICCATI AND ADELINE CARMELA CICCATI REVOCABLE TRUST | |
| CICCATI, AUSTIN LOUIS | SHAREHOLDER | 6351650 |
| CICCATI, CARLY MARIE | SHAREHOLDER | 6351667 |
| COLE, DAVID SCOTT | CHIEF FINANCIAL OFFICER/FINOP | 4181156 |
| RAHMOUNI IDRISSI, SAAD | CHIEF COMPLIANCE OFFICER | 4071743 |
| RICHARDSON, PAUL REID | CHIEF OPERATIONS OFFICER | 1006146 |
Regulatory assets under management
| Total Number of Accounts | 7,559 |
| AUM (Assets Under Management) | $ 1,216,021,701 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CALTON & ASSOCIATES, INC.
CRD#: 20999Louisville, KY 40243TRUST BUT VERIFY
Monitor Mark Lamkin
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
